Vedder Price

Self-Regulatory Industry Proceedings Vedder Service

Our attorneys represent broker-dealers, investment advisers and investment professionals in FINRA, NYSE, CBOE and American Arbitration Association (AAA) arbitrations and mediations. We defend the following charges for our clients:

  • Securities fraud
  • Breach of fiduciary duty
  • Unsuitability
  • Churning
  • Negligence
  • Failure to supervise
  • Improper order executions
  • Unauthorized trading
  • Excessive commissions and markups
  • Overconcentration of investments

In addition, we have extensive experience representing broker-dealers and investment advisers in employment-related claims, including disputes related to employee raiding, unfair competition and restrictive covenants, as well as claims related to Form U5 defamation.